Senior Analyst, Public Offerings

Min 3 yrs required

Full-time

No

Senior Analyst, Public Offerings
The candidate analyzes complex and high-profile public offering transactions. Reviews and investigates proposed public offering underwriting arrangements to ensure compliance with the organization and SEC rules as well as other securities laws. Ensures underwriting compensation is adequately valued, within guidelines, and disclosed to investors. Verifies that conflicts of interest are prominently disclosed. Drafts comment and inquiry letters, communicates rules and policies, and reviews correspondence on issues related to public offering filings, investigations and spot checks. Conducts independent investigations and develops cases related to potential violations. Prepares memoranda, reports, and other correspondence, including 8210 Letters and Letters of Caution. Supports investigations conducted by the Department of Enforcement. Assists with on-site examination of members' corporate financing activities in connection with a routine or special examination. Responds to various inquiries from attorneys, members, issuers, the SEC, state securities regulators, other departments and the public. Performs special assignments at the request of the Department management. Prepares and presents materials for member conferences and training. Keeps up-to-date on changes in rules and regulations that affect public offerings.

Job Requisition ID: R-007644

Qualification and Experience The candidate should have a Bachelor's degree and 3+ years of related industry experience or an equivalent combination of education and experience. JD or MBA is preferred. Experience or educational background in finance, computer science, data engineering, information systems, querying or reporting is desired. Desire to work on projects involving data analytics is needed. Competence using a desktop computer with the full suite of office software applications is a must. Some extended hours may be required.

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